{"id":1547,"date":"2025-10-17T18:47:52","date_gmt":"2025-10-17T18:47:52","guid":{"rendered":"https:\/\/bdia.pli.edu\/?p=1547"},"modified":"2025-11-14T18:54:31","modified_gmt":"2025-11-14T18:54:31","slug":"updates-on-sifma-finra-esma-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2025\/10\/17\/updates-on-sifma-finra-esma-and-more-from-fisolve\/","title":{"rendered":"Updates on SIFMA, FINRA, ESMA and more from FiSolve"},"content":{"rendered":"\n<p><a href=\"http:\/\/FiSolve.com\" target=\"_blank\" rel=\"noopener\" title=\"\">FiSolve<\/a>&#8216;s October 17th weekly financial and regulatory news updates:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"https:\/\/www.sifma.org\/resources\/submissions\/letters\/modernizing-communications-and-record-retention-rules-for-broker-dealersinvestment-advisers-and-security-based-swap-dealers-sifma-and-sifma-amg\/?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8D2f_7GJjdj-RRa2AJZa2NceeSLsCqs4Q7c_64r32sIUtB1823Ikr1HQ3sPqIs9E9k3FS0\" target=\"_blank\" rel=\"noopener\" title=\"\">SIFMA Proposes Modernizing SEC Rules to Reflect Today\u2019s Communications Practices<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/home.treasury.gov\/news\/press-releases\/sb0278?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8D2f_7GJjdj-RRa2AJZa2NceeSLsCqs4Q7c_64r32sIUtB1823Ikr1HQ3sPqIs9E9k3FS0\" target=\"_blank\" rel=\"noopener\" title=\"\">U.S. and U.K. Take Largest Action Ever Targeting Cybercriminal Networks in Southeast Asia<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.finra.org\/sites\/default\/files\/fda_documents\/2023080354702%20Amy%20Fulghum%20CRD%204805463%20AWC%20vr.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8D2f_7GJjdj-RRa2AJZa2NceeSLsCqs4Q7c_64r32sIUtB1823Ikr1HQ3sPqIs9E9k3FS0\" target=\"_blank\" rel=\"noopener\" title=\"\">FINRA Fines and Suspends Former Assistant for Signing Documents without Permission<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.esma.europa.eu\/sites\/default\/files\/2025-10\/ESMA32-2064178921-9254_Public_Statement_-_2025_European_Common_Enforcement_Priorities.pdf?utm_source=hs_email&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8D2f_7GJjdj-RRa2AJZa2NceeSLsCqs4Q7c_64r32sIUtB1823Ikr1HQ3sPqIs9E9k3FS0\" target=\"_blank\" rel=\"noopener\" title=\"\">ESMA Announces 2025 European Common Enforcement Priorities and Releases Results of Fact-Finding on Materiality Considerations in Sustainability Reporting<\/a><\/li>\n<\/ul>\n\n\n\n<p>Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-october-10-2025\" target=\"_blank\" rel=\"noopener\" title=\"\">here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s October 17th weekly financial and regulatory news updates: Read the full update here.<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,25,21,22],"tags":[],"class_list":["post-1547","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-international","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1547","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1547"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1547\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1547"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1547"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1547"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}